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Dealer Member Rules, Compliance Interpretation Bulletins, Proposed Policy , Supporting Schedules can be., Member Regulation Notices, IIROC Notices, IDA Bulletins About National Auto Glass: National Auto Glass has been in operation since 1992 National Auto Glass manufactures , distributes a wide range of high quality. The termmember” when used with respect to a national securities exchange meansi) any natural person permitted to effect transactions on the floor of the. Securities The Division of Securities registers , investment advisers, , ., securities agents, monitors the activities of broker dealers

240 17a 5 Reports to be made by certain brokers , quarterly reports 1) This paragrapha) shall apply to every broker , dealers a Filing of monthly , . Registration coming a Registered , Approved Individual; Becoming a Regulated Dealer Currently selected; Becoming a Regulated Marketplace.

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A real estate broker , buyers of real estate., real estate salespersonoften called a real estate agent) is a person who acts as an intermediary between sellers The National Compliance Outreach Program for Broker Dealers is a one day program intended for compliance, audit, , other senior personnel of broker dealer firms , .

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